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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

PHILIP ANDREW BAXLEY

Advisor at ADVICE AND PLANNING SERVICES

Richmond, VA | RICHMOND, VA

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Search this name across graphsid dfx:ria:78e62123-630a-56d8-bf6f-7d32776a2ed9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2010 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ADVICE AND PLANNING SERVICES
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2010earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Dec 1, 2010
First registration: Dec 2, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 4467948

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Jan 9, 2015	n/a	yes	RICHMOND, VA\|Richmond, VA	Current employment
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 17, 2013	Dec 23, 2014	no	GLEN ALLEN, VA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Oct 4, 2013	Dec 23, 2014	no	GLEN ALLEN, VA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Dec 2, 2010	Oct 3, 2013	no	RICHMOND, VA\|RICHMOND, VA\|RICHMOND, VA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	ADVICE AND PLANNING SERVICES	Dec 23, 2014	Jan 9, 2015	17	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Dec 23, 2014	Oct 17, 2013	-432	Channel change	Other
WELLS FARGO ADVISORS	TD AMERITRADE, INC.	Oct 3, 2013	Oct 4, 2013	1	Firm change	Other

Relationships

Registered with (4)

→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: current employment
Jan 9, 2015 to presentfactForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 17, 2013 to Dec 23, 2014factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Oct 4, 2013 to Dec 23, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 2, 2010 to Oct 3, 2013factForm ADV

Dated events

No dated event names this entity yet.